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eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
2 mentions1 same-page
Page ?Same page
eports with the SEC. These reports are available through the SEC's EDGAR database, which can be accessed through the SEC's web site (www.sec.gov). Broker-Dealer and Other Similar Registrations. Millennium has in the past had a broker-dealer entity registered under the Exchange Act and may in the future have
AG (Parent Company) 12. Date of Action: May 20, 2015 Brought By: U.S. Department of Justice (D01), the Board of Governors of the Federal Reserve, Connecticut Department of Banking On May 20, 2015, UBS AG entered into settlements with the DO1, the Board of Governors of the Federal Reserve, and the Connecticut Depar
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Mutual Connections (126)
Entities connected to both Broker-Dealer and Connecticut Department
Fannie Mae
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
New Hampshire
LOCATION3 w/ Broker-Dealer·4 w/ Connecticut
Swiss Federal Banking Commission
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
the Financial Advisor's
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Parent Company
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Dept. of
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Back Taxes Payment
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
United States
LOCATION3 w/ Broker-Dealer·4 w/ Connecticut
UBS Securities LLC
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
the Securities and Exchange Commission
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Department of Justice
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
New York State
LOCATION3 w/ Broker-Dealer·4 w/ Connecticut
the Connecticut Department of Banking
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Internal Revenue Service
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
UBS AG
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
UBS Fund
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Lehman Structured Products
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Massachusetts Securities Division
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
the North American Securities Administrators Association
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut
Civil Penalty
ORGANIZATION3 w/ Broker-Dealer·4 w/ Connecticut